Nex Systems
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DART Executions LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130377365-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: DART Executions, LLC Respondent Broker-Dealer CRD No. 140802 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, DART Executions, LLC (the "firm" or "DART") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2013037736501data-portal.finra.orgfinra.org

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